0001104659-24-025520.txt : 20240220
0001104659-24-025520.hdr.sgml : 20240220
20240220161120
ACCESSION NUMBER: 0001104659-24-025520
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20240220
FILED AS OF DATE: 20240220
DATE AS OF CHANGE: 20240220
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rothbaum Wayne P.
CENTRAL INDEX KEY: 0001423102
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36860
FILM NUMBER: 24653389
MAIL ADDRESS:
STREET 1: C/O QUOGUE CAPITAL LLC
STREET 2: 1285 AVENUE OF THE AMERICAS, 35TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: IOVANCE BIOTHERAPEUTICS, INC.
CENTRAL INDEX KEY: 0001425205
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
ORGANIZATION NAME: 03 Life Sciences
IRS NUMBER: 753254381
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 825 INDUSTRIAL ROAD
STREET 2: 4TH FLOOR
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
BUSINESS PHONE: 6502607120
MAIL ADDRESS:
STREET 1: 825 INDUSTRIAL ROAD
STREET 2: 4TH FLOOR
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
FORMER COMPANY:
FORMER CONFORMED NAME: Lion Biotechnologies, Inc.
DATE OF NAME CHANGE: 20131015
FORMER COMPANY:
FORMER CONFORMED NAME: Genesis Biopharma, Inc
DATE OF NAME CHANGE: 20100319
FORMER COMPANY:
FORMER CONFORMED NAME: FREIGHT MANAGEMENT CORP
DATE OF NAME CHANGE: 20080128
4
1
tm246751-3_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2024-02-20
0
0001425205
IOVANCE BIOTHERAPEUTICS, INC.
IOVA
0001423102
Rothbaum Wayne P.
C/O IOVANCE BIOTHERAPEUTICS, INC.
825 INDUSTRIAL ROAD, 4TH FLOOR
SAN CARLOS
CA
94070
1
0
0
0
0
Common Stock
2024-02-20
4
P
0
5000000
9.15
A
28067333
I
By Quogue Capital LLC
Such shares may be held directly by Quogue Capital LLC or are held by one or more entities controlled by Quogue Capital LLC. The reporting person is the sole managing member of Quogue Capital LLC, and therefore, he is deemed to beneficially own such shares of common stock of the Issuer.
The numbers reported in column 5 exclude 1,932,667 shares of common stock underlying 1,932,667 shares of Series B Preferred Stock of the Issuer beneficially owned by Quogue Capital LLC.
Such shares purchased pursuant to Issuer's underwritten offering, which priced on 02/20/2024.
/s/ Wayne P.Rothbaum
2024-02-20